LSIS5750: Records Management Midterm Exam

Honor Code

For this exam, you may consult course materials (assigned readings, your notes, lecture recordings and slides, and discussion boards on Blackboard).  

You are encouraged to reference authoritative sources (articles and books) to strengthen your point of view. External sources should be identified, but it is not necessary to give a full bibliographic citation. Author’s name, year, and page number will be deemed sufficient for the mid-term exam. 

By submitting this exam for a grade, you affirm that this work is your own and that you did not receive assistance from others.  You agree that violation of this code will result in a grade of zero points.

NAME: ________________________________________________________________

Guidelines for Answers

Answer all parts of the questions. You responses should not be too short nor too long. They should provide enough information to answer the question without being wordy. When in doubt start with the simplest (i.e. obvious) answer and develop its complexity from there as time permits. 

Please leave time for proof-reading, revision, and to submit your exam to Blackboard.

Per class discussion: There are 6 questions, which you have 180 minutes from the exam’s release at 4:00 p.m. EST. The exam must be submitted by 7:00 p.m. EST.


1)  Compare and contrast the role of records management in supporting recordkeeping for individuals, organizations (public & private), and society (15 points).

2)  Compare and contrast the implications for records classification, capture, and registration between analog and electronic records (15 points).

3) Describe the concept of warrant and discuss its relationship to the three components and four qualities of records (15 points).

4)  Describe the three components and their roles of a records management system; include examples (15 points).

5)  Discuss the role of functional and process analysis in designing records systems (15 points).

6)  In many cases a records manager will set the retention period for upper-level management meeting minutes as “permanent,” while purchase orders (held by the purchasing department) as “seven years” (and other copies as “one year”).

Describe the possible reasons for the differing retention periods based on Shepherd and Yeo’s appraisal matrices. Cover each value with their relationship to the values on the other two axes, if only briefly (25 points).

Bonus (5 points): Explain the differences between the two diagrams.